Edgar Filing: CONTROL4 CORP

Ownership Submission

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940

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(Print or Type Responses)

1. Name and Address of Reporting Person ^*

Â ELMORE WILLIAM B

2. Date of Event Requiring Statement (Month/Day/Year)
08/01/2013

3. Issuer Name and Ticker or Trading Symbol
CONTROL4 CORP [CTRL]

(Last)

(First)

(Middle)

C/O FOUNDATION CAPITAL,Â 250 MIDDLEFIELD ROAD

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

_____ Director	__X__ 10% Owner
_____ Officer (give title below)	_____ Other (specify below)

5. If Amendment, Date Original Filed(Month/Day/Year)

(Street)

MENLO PARK,Â CAÂ 94025

6. Individual or Joint/Group Filing(Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person

(City)

(State)

(Zip)

Table I - Non-Derivative Securities Beneficially Owned

1.Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	18,920	I	By: Foundation Capital IV, L.P. ⁽²⁾
Common Stock	149	I	By: FC IV Active Advisors Fund, LLC ⁽²⁾
Common Stock	160	I	By: Foundation Capital IV Principals Fund, LLC ⁽²⁾

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.			SEC 1473 (7-02)
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security		6. Nature of Indirect Beneficial Ownership (Instr. 5)
Sereis C Convertible Preferred Stock	Â ⁽¹⁾	Â ⁽¹⁾	Common Stock	1,770,469	$ ⁽¹⁾	I	By: Foundation Capital IV, L.P. ⁽²⁾
Sereis C Convertible Preferred Stock	Â ⁽¹⁾	Â ⁽¹⁾	Common Stock	13,981	$ ⁽¹⁾	I	By: FC IV Active Advisors Fund, LLC ⁽²⁾
Sereis C Convertible Preferred Stock	Â ⁽¹⁾	Â ⁽¹⁾	Common Stock	15,025	$ ⁽¹⁾	I	By: Foundation Capital IV Principals Fund, LLC ⁽²⁾
Sereis D Convertible Preferred Stock	Â ⁽¹⁾	Â ⁽¹⁾	Common Stock	890,389	$ ⁽¹⁾	I	By: Foundation Capital IV, L.P. ⁽²⁾
Sereis D Convertible Preferred Stock	Â ⁽¹⁾	Â ⁽¹⁾	Common Stock	7,031	$ ⁽¹⁾	I	By: FC IV Active Advisors Fund, LLC ⁽²⁾
Sereis D Convertible Preferred Stock	Â ⁽¹⁾	Â ⁽¹⁾	Common Stock	7,556	$ ⁽¹⁾	I	By: Foundation Capital IV Principals Fund, LLC ⁽²⁾
Sereis E Convertible Preferred Stock	Â ⁽¹⁾	Â ⁽¹⁾	Common Stock	863,962	$ ⁽¹⁾	I	By: Foundation Capital IV, L.P. ⁽²⁾
Sereis E Convertible Preferred Stock	Â ⁽¹⁾	Â ⁽¹⁾	Common Stock	6,822	$ ⁽¹⁾	I	By: FC IV Active Advisors Fund, LLC ⁽²⁾
Sereis E Convertible Preferred Stock	Â ⁽¹⁾	Â ⁽¹⁾	Common Stock	7,332	$ ⁽¹⁾	I	By: Foundation Capital IV Principals Fund, LLC ⁽²⁾
Sereis F Convertible Preferred Stock	Â ⁽¹⁾	Â ⁽¹⁾	Common Stock	1,132,980	$ ⁽¹⁾	I	By: Foundation Capital IV, L.P. ⁽²⁾
Sereis F Convertible Preferred Stock	Â ⁽¹⁾	Â ⁽¹⁾	Common Stock	8,947	$ ⁽¹⁾	I	By: FC IV Active Advisors Fund, LLC ⁽²⁾
Sereis F Convertible Preferred Stock	Â ⁽¹⁾	Â ⁽¹⁾	Common Stock	9,615	$ ⁽¹⁾	I	By: Foundation Capital IV Principals Fund, LLC ⁽²⁾
Sereis G Convertible Preferred Stock	Â ⁽¹⁾	Â ⁽¹⁾	Common Stock	79,699	$ ⁽¹⁾	I	By: Foundation Capital IV, L.P. ⁽²⁾
Sereis G Convertible Preferred Stock	Â ⁽¹⁾	Â ⁽¹⁾	Common Stock	629	$ ⁽¹⁾	I	By: FC IV Active Advisors Fund, LLC ⁽²⁾
Sereis G Convertible Preferred Stock	Â ⁽¹⁾	Â ⁽¹⁾	Common Stock	676	$ ⁽¹⁾	I	By: Foundation Capital IV Principals Fund, LLC ⁽²⁾
Sereis G Convertible Preferred Stock	Â ⁽¹⁾	Â ⁽¹⁾	Common Stock	240,332	$ ⁽¹⁾	I	By: Foundation Capital VI, L.P. ⁽³⁾
Sereis G Convertible Preferred Stock	Â ⁽¹⁾	Â ⁽¹⁾	Common Stock	2,684	$ ⁽¹⁾	I	By: Foundation Capital VI Principals Fund, LLC ⁽³⁾

Reporting Owners

Reporting Owner Name / Address	Relationships
Reporting Owner Name / Address	Director	10% Owner	Officer	Other
ELMORE WILLIAM B C/O FOUNDATION CAPITAL 250 MIDDLEFIELD ROAD MENLO PARK,Â CAÂ 94025	Â	Â X	Â	Â
GOULD KATHRYN C C/O FOUNDATION CAPITAL 250 MIDDLEFIELD ROAD MENLO PARK,Â CAÂ 94025	Â	Â X	Â	Â
HOLLAND PAUL R C/O FOUNDATION CAPITAL 250 MIDDLEFIELD ROAD MENLO PARK,Â CAÂ 94025	Â	Â X	Â	Â
KOONTZ PAUL G C/O FOUNDATION CAPITAL 250 MIDDLEFIELD ROAD MENLO PARK,Â CAÂ 94025	Â	Â X	Â	Â
SCHUH MICHAEL N C/O FOUNDATION CAPITAL 250 MIDDLEFIELD ROAD MENLO PARK,Â CAÂ 94025	Â	Â X	Â	Â
Weiss Warren M C/O FOUNDATION CAPITAL 250 MIDDLEFIELD ROAD MENLO PARK,Â CAÂ 94025	Â	Â X	Â	Â
Redelfs Richard C/O FOUNDATION CAPITAL 250 MIDDLEFIELD ROAD MENLO PARK,Â CAÂ 94025	Â	Â X	Â	Â
Sidana Ashmeet C/O FOUNDATION CAPITAL 250 MIDDLEFIELD ROAD MENLO PARK,Â CAÂ 94025	Â	Â X	Â	Â
Moldow Charles C/O FOUNDAITON CAPITAL 250 MIDDLEFIELD ROAD MENLO PARK,Â CAÂ 94025	Â	Â X	Â	Â

Signatures

/s/ Gail M. Haney as Attorney-In-Fact		08/01/2013
^**Signature of Reporting Person		Date

Explanation of Responses:

*	If the form is filed by more than one reporting person, see Instruction 5(b)(v).
**	Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
(1)	Each share of Issuer's Preferred Stock automatically converts into Common Stock on a 1-for-1 basis immediately prior to the closing of the Issuer's initial public offering and has no expiration date.
(2)	Foundation Capital Management Co. IV, LLC is the general partner of Foundation Capital IV, L.P., FC IV Active Advisors Fund, LLC and Foundation Capital IV Principals Fund, LLC. William B. Elmore, Kathryn C. Gould, Paul R. Holland, Paul G. Koontz, Michael N. Schuh and Warren M. Weiss are managing members of Foundation Capital Management Co. IV, LLC, and may be deemed to share voting and investment power over the shares owned by Foundation Capital IV, L.P., FC IV Active Advisors Fund, LLC and Foundation Capital IV Principals Fund, LLC. Each of the managing members of Foundation Capital Management Co. IV, LLC disclaims beneficial ownership in the shares held by the aforementioned entities except to the extent of his or her pecuniary interest therein.
(3)	Foundation Capital Management Co. VI, LLC is the general partner of Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC. William B. Elmore, Paul R. Holland, Paul G. Koontz, Charles P. Moldow, Richard A. Redelfs, Michael N. Schuh, Ashmeet S. Sidana, Steven P. Vassallo and Warren M. Weiss are the managing members of Foundation Capital Management Co. VI, LLC and may be deemed to share voting and investment power over the shares owned by Foundation Capital VI, L.P. and Foundation Capital VI Principals Fund, LLC. Each of the managing members of Foundation Capital Management Co. VI, LLC disclaims beneficial ownership in the shares held by the aforementioned entities except to the extent of his or her pecuniary interest therein.

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